Associate

Optima Partners is looking for an Associate Consultant to support clients on regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, venture capital, real-estate, credit managers, banks and broker-dealers.Considered Candidates Will:Support a large portfolio of clients as the primary day-to-day oversight resourceHave familiarity for practical compliance and regulatory matters relating to SEC (e.g., Advisers Act)CFTC NFA and FINRA (e.g. broker-dealer) rules, and other regulators experience also a plusHave familiarity with various regulatory mock examination audits, including documentation requests, onsite reviews interviews and drafting reportsDemonstrate the ability to support with compliance protocols and training regarding use of expert networks MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 and 38a-1 reviews, etc.Anticipate client regulatory risks and expectations, focus resources on the necessary tasks that need completionBe up to date on current regulatory developments and will to remain abreast of new developments on the horizonHave experience with ADVs Form PFS and other regulatory filingsRequirements:Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plusMUST HAVE 2+ years of total compliance industry experience working at one or more: Hedge fund Private Equity Venture CapitalCreditReal-Estate BDC asset investment managers (in-house), advisory services firm or ex. regulatorStrong interpersonal skills, ability to independently (or as part of a team) work on-site at a client officeExcellent written and verbal communication skillsStrong analytical and research skillsAbility to multi-task and prioritize across a range of projects with constantly shifting priorities in a team environmentAbility to master new tasks quickly and effectivelyMust have the ability to start with limited restrictionsThe role is a hybrid role. Candidates can be located in New YorkOptima Partners is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status age or disability.

Created: 2024-11-06